Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Rafael Gonzalez (Gonzalez), currently associated with Morgan Stanley, has at least one disclosable event. These events include one customer complaint, alleging that Gonzalez recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a pending customer complaint with a damage request of $157,779.00 on October 31, 2023.
Plaintiffs allege unsuitable investment recommendations, fraudulent and negligent misrepresentations, and omissions of material information regarding investments in Plaintiffs’ account.